Brooks M. Webb
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brooks Matthew Webb was a registered financial professional .
Brooks is a previously registered financial professional and started their career in finance in 1992. Brooks had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2020 - December 31, 2021
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
January 10, 2020 - December 31, 2021
CAPITAL INVESTMENT GROUP, INC.
January 16, 2004 - December 31, 2011
VOYA FINANCIAL ADVISORS, INC.
October 15, 2001 - December 15, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
January 26, 2001 - October 19, 2001
VOYA FINANCIAL ADVISORS, INC.
May 13, 1999 - September 29, 2000
EDWARD JONES
August 3, 1998 - May 7, 1999
IFMG SECURITIES, INC.
April 8, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
March 23, 1998 - April 27, 1999
SOUTHTRUST SECURITIES, LLC
November 25, 1996 - March 25, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 1992 - December 10, 1996
AMERIPRISE ADVISOR SERVICES, INC.
July 17, 1992 - October 13, 1992
F.N. WOLF & CO., INC.
Primary Firm SEC Registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/10/2020
General Securities Representative ExaminationSeries 8
Date: 9/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
